Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adriana? Claim Your ProfileAdriana Guez is an investment advisor representative registered with Charles Schwab & CO., Inc.. Adriana has over 15 years of experience in the financial services industry, having previously worked at BBVA Securities Inc., GWFS Equities, Inc., CUSO Financial Services, L.P., TIAA-CREF Individual & Institutional Services, LLC, and other firms. Adriana is a Registered Representative and Investment Advisor Representative who holds multiple licenses and certifications, including Series 6, 7, 9, 10, 26, 63 and 66. Adriana specializes in financial planning and serves individuals and families.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CO
06/28/2017 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
CO
04/03/2017 - 04/25/2017
BBVA SECURITIES INC. (DENVER CO)
CO
05/02/2016 - 01/06/2017
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
10/14/2014 - 05/02/2016
CUSO FINANCIAL SERVICES, L.P. (Denver CO)
CO
08/08/2006 - 07/22/2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)
NY
05/16/2000 - 08/15/2001
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
09/28/1999 - 04/20/2000
H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)
CA
02/13/1997 - 06/29/1999
BANCBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
BOTH
Issued 07/02/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/15/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/21/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/27/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/01/2016
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/2014
Series 7 - General Securities Representative Examination
BC
Issued 08/07/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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